Multimedia Presentation Recorded 21 Dec 2017
Insider Trading: Compliance and Beyond
Illegal insider trading extracts significant costs. Trading material non-public information hampers trust and destroys market integrity. Yet, from time to time, stories of the tall and mighty following slippery criminal paths highlight the need to pay close attention. The Securities and Exchange Board of India (SEBI) has comprehensive laws against the trading of material non-public information. Investment professionals from the buy side, sell side, as well as corporations and other related stakeholders should be aware of common pitfalls and information boundaries that all professionals need to observe.
Mr. Suresh Gupta, a senior regulator from SEBI, has a ringside view of the regulatory landscape of insider trading. In this interactive session, Mr. Gupta will provide insights on the topic of insider trading. This webinar will include:
- insider trading overview: intent and evolution
- required standards of practice
- common pitfalls
- case studies
This is an archived version of a live webinar that took place on 21 December 2017.
About the Speaker(s)
Suresh Gupta is the Chief General Manager in the Enquiry and Adjudication Department of the Securities and Exchange Board of India. With over two decades of work for SEBI, Mr. Gupta plays a leadership role in SEBI’s efforts to improve market integrity. Currently, Mr. Gupta's role involves discharging quasi-judicial functions.
Shreenivas Kunte, CFA, CIPM, is a director of professional learning and advocacy at CFA Institute. In this role, Mr. Kunte contributes to thought leadership in the investment profession. He writes on investing topics in leading publications and represents CFA Institute at conferences and forums. Mr. Kunte serves as an external research scholar at the Indian Institute of Technology Bombay. Previously, he worked as the country trading strategist for Citi in Tokyo, Japan. He holds a degree in computer engineering from the University of Mumbai.